Professional Documents
Culture Documents
Procedure CAP004M
Contract Administration System
(CAS) Manual
March 2010
Procedure - CAP004M
Reports
TABLE OF CONTENTS
1
INTRODUCTION .......................................................................................................... 1
1.1
1.2
1.3
1.4
Purpose ............................................................................................................................. 1
Scope ................................................................................................................................ 1
Definitions, Abbreviations and Acronyms .......................................................................... 1
General .............................................................................................................................. 2
SURVEILLANCE REPORTING.................................................................................... 8
5.1
5.2
REFERENCE DOCUMENTS........................................................................................ 9
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INTRODUCTION
1.1
Purpose
Procedure - CAP004M
Reports
The purpose of this procedure is to obtain a consistent approach to the provision of reports required under a
Road Construction Contract (RCC) and by the department, through policies or other procedures.
1.2
Scope
The scope of the procedure is to provide the framework necessary to allow the Superintendent and the
surveillance team to complete the required reports to the necessary standard and on time.
1.3
Abbreviation
Description
CAR
Contractor
Where the Annexure provides a date for Practical Completion that date, where the
Annexure provides a period of time for Practical Completion, the last day of the
period.
Date of Practical
Completion
Department /
Departmental
Designer/Design
Consultant
Person or firm who undertakes the design (for RCC the design is prepared by the
Principal who may have a firm undertaking this work). Designer also has a
specific meaning under WHS legislation.
DRR
E(PUP)
Environmental Management Plan which may include the EMP- Planning or the
EMP Construction depending upon the context of the text.
EOT
Extension of Time
LD
Liquidated Damages
MRPDS
MRTS
NCR
Non-conformance Report
PM
Practical
Completion
Is that stage in the execution of the work under the Contract where the Works are
able to be handed over to the Principal
Principal
Is the Principal stated in the Annexure (state of Queensland acting through the
department)
RCC
RSAR
SSP
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Procedure - CAP004M
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Superintendent
VO
Variation Orders
1.4
General
This procedure is mandatory for all RCCs to the extent that the reports detailed are applicable to the specific
contract. Sections of this procedure may also be useful for other types of contracts such as Roadworks
Performance Contracts and Minor Works Contracts.
During the execution of a Contract, the Superintendent is required to prepare and forward monthly and
terminal reports. In addition to the reports listed below, there may be other reports required for regional
requirements or for a specific contract, for example, where this department may be involved with another
department in the delivery of a project with separate or different reporting processes.
Monthly reports include the following:
Terminal reports which should be forwarded after reaching the practical completion include:
System for Registration of Approved Asphalt Suppliers, Appendix L, Attachment 1, Asphalt Supplier
Performance Report Form (Form MAS208)
Road Safety Audit Policy and Guidelines, Appendix B RSA Report Template Pre-Opening,
Construction and Existing Road Stages
The following two reports should be prepared by the Project Manager with input by the Superintendent and
are included here for information for the Superintendent:
MONTHLY REPORTS
2.1
The Superintendents Monthly Report (CAF007M) provides the Project Manager with information on
developments within the Contract. It is recommended that this report is prepared after the monthly site
conferences.
The report should include the following information:
Safety issues summarise any safety issues occurring in the reporting month in traffic, construction,
work practices, site offices and interfacing with the community.
Contract costs - summarise the current costs against programmed costs; link to anticipated and actual
claims; link to Variation Orders issued (attach copy of the current Variation Order (CAF027M);
Includes Cultural Heritage Report (It is expected that in the future this will likely to be separate to the
Environmental Report)
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Milestones completed scheduled and actual dates, summarise reasons for meeting and not meeting,
summarise forecasts of the status of future milestones;
Forecast of the critical or key programmed work (either on or likely to affect the programmed critical
path) for the next month with an estimate of the likelihood of completion;
Construction program summary of the critical path work items and any potential time delays likely to
affect work items on the critical path or items which may become critical and change the current
critical path;
Summarise any significant changes to the Contract risk profile (including the reduction or increases in
known risks and newly identified risks (refer to the Contractors risk register and Superintendents
Surveillance Plan, Appendix C Surveillance Risk Register (CAF001M);
Summarise mitigation measures proposed for new or increased risks and whether these are
Contractors or Principals risks (refer to the Contractors and Superintendents risk registers);
Summary of Contractors quality assurance system NCR issued, closed, outstanding, time
outstanding, repeat NCR, CAR issued by the Superintendent (refer to the Contractors NCR register
and the Corrective Action Request Register (CAF022M);
Status of Design Review Requests (refer to the Design Review Register (CAF023M));
If applicable, summarise the outcomes of the scoring for partnering for the month and proposed
actions to keep on target or improve where needed; and
2.2
Environmental Report
The Contractor shall monitor, update and control its environmental management plan (construction).
The Contractor shall report environmental monitoring results, and analysis, incidents of environmental
nuisance, non-conformance list and corrective actions to the Superintendent at the frequency detailed in the
Contract.
2.3
The Contractor will complete a cultural heritage report every month and submit to the Superintendent for
review. The report will, as a minimum, detail the cultural heritage related activities that have been completed
that month including any incidents or discoveries and how they have been addressed.
2.4
The Superintendent, in collaboration with the Contractor, completes MRPDS, Volume 3 Major Works
Prequalification System, Appendix G, Performance Assessment Form (Form C6876) every month. The
report evaluates the performance of the Contractor for consideration by the prequalification committee as a
check to confirm a Contractors prequalification entitlement and provides data on a Contractors performance
history.
The final MRPDS, Volume 3 Major Works Prequalification System, Appendix G, Performance Assessment
Form (Form C6876) is to be completed within eight weeks of the issue of the Certificate of Practical
Completion (Form C6881).
Application of systems such as - construction safety, quality, traffic management, environment, cultural
heritage and community liaison plans;
Contractors team capability and experience management (of staff, plant, correspondence and
reports), technical skill levels appropriate to the construction of the Contract, cooperation;
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Superintendents team capability and experience management (of staff, correspondence and
reports), technical skill levels appropriate to the administration of the Contract, cooperation;
Claims/Variations refer to Claims and Variations (CAP007M), Claims Register (CAF024M) and
Variation Register (CAF026M); and
External considerations.
All completed and approved reports are sent to the Principal, Contractor and Principal Manager (Contracts)
within one week of the monthly site conference.
For more information regarding contract performance reports refer to Main Roads Project Delivery System
(MRPDS) Volume 3.
TERMINAL REPORTS
3.1
The purpose of this report is to inform the Project Manager about the performance of the design consultant
and learnings from the design consultant contract. Reporting on the performance of the design consultant is
a two-stage process including:
1.
Part A report - after completion of the actual design phase of the consultant services; and
2.
This procedure relates to Performance Report Consultant on Engineering Projects, Part B, After
Completion of Construction (C7563)
The purpose of the Part B report is to assess the constructability of the design as well as the performance
and cooperation of the design consultant in providing responses to Requests for Information and Design
Review Requests.
This report is to be completed by the officer delegated to manage and review the performance of the design
consultant but the input of the Superintendent into Part B is required. The report is to be discussed with the
consultant who is given the opportunity to respond in writing. The consultant's response should form part of
the report.
The report should be completed within two weeks of Practical Completion as mentioned in Clause 8.3.4 of
the Manual - Consultants for Engineering Projects (MCEP). This report should be made available for
discussion during the post construction conference.
3.2
Where an external Superintendent has been appointed as Contract Administrator a performance report is
required to be completed by the Principal (Refer to Manual Consultants for Engineering Projects, Part B
Performance Reports).2
For more information regarding this report see Manual Consultants for Engineering Projects.
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3.3
Procedure - CAP004M
Reports
Maintenance Report
The Maintenance Report (CAF009M) outlines issues on the project which are significant to the ongoing
maintenance of the Works following the issue of the Final Certificate (Form C6882) at the end of the Defects
Liability Period.
The landscaping works may have a separate Defects Liability Period to the main contract works and that
section of the works may have to be reported on at a different time to that of the main contract works.
The Superintendent is requested to forward this report to the Project Manager within two weeks of the issue
of the Final Certificate (Form C6882). The report includes information on the following aspects:
Erosion and sediment control - all temporary works for construction removed; all permanent works
installed as per the Contract (or as varied) and operating as designed; any failures outside the
Contract noted;
Drainage - all excess construction materials removed; inlets, outlets and culverts clear of debris;
surface drainage lines clear of debris; evidence of subsidence over culverts; evidence of scour around
culverts or other drainage structures; sub-soil drainage outlets clear; table drains to the correct profile,
grade and clear;
Earthworks formation works to the proper profile in width and batter slope (no scouring or damage);
no evidence of slips in cut or fill batters; no unplanned vegetation in formation or clearance areas; no
loose fill or rocks in the surface of cut and fill batters; batter protection to the required standard taking
fair wear and tear into consideration;
Subgrade and pavements pavement to the proper profile in width, crossfall and in the longitudinal
direction (no apparent frittering of edges, localised depressions or subsidences);
Landscaping to the required standard taking into account fair wear and tear ;
Structures - to the required standard taking into account fair wear and tear (including the vehicle
running surface); no concrete spalling; no signs of structural cracks; no signs of rust stains in concrete
or steel components;
Road furniture - signs, guide posts, guardrail and similar systems; pavement marking;
Street and intersection lighting, traffic signals, - all parts of the systems working including pedestrian
and vehicle actuation for signals; certification to The Electrical Safety Acts;
Public Utility Plant (where part of the Contract) - completed to the satisfaction of the relevant owner of
the public utility;
3.4
Unless either the Principal or the Contractor serves a notice of dispute under Clause 47 Dispute Resolution,
of the General Conditions of Contract within 15 days of the issue of the Final Certificate (Form C6882) the
Superintendent prepares the Superintendents Final Report (CAF010M).
This report is to be completed within four weeks of the issue of the Final Certificate (Form C6882) and
includes the following information:
Details of the Contract summary of the key aspects from the Superintendents Surveillance Plan
(CAF001M);
Details of the design consultant refer to Performance Report Consultant on Engineering Projects,
Part B, After Completion of Construction (C7563)
Summary of the Contractors quality assurance (NCR issued and closed out, rate of close out,
statistical calculations for results for embankment and pavement compactions, concrete and asphalt
tests and so on). Superintendents surveillance results (CAR issued and closed out, rate of close out);
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3.5
The System for Registration of Approved Asphalt Suppliers, Appendix L, Attachment 1, Asphalt Supplier
Performance Report Form (Form MAS208) is only required for:
Contracts of lesser quantity where a performance report is deemed suitable irrespective of whether
the asphalt supplier is the Contractor or a Subcontractor.
If the Contract has less than 2000 tonnes of asphalt work, the decision whether this report is required should
result from a meeting between the Superintendent, Contractor, Project Manager and the asphalt supplier.
The purpose of this report is to:
Determine the continuing suitability of the asphalt supplier for registration; and
The report should be prepared by the Superintendent and forwarded to the Project Manager. After dealing
with specific issues detailed in the report, the Principals Representative should forward the report with
comments (if required) to the Principal Chemist of the Pavements & Materials Division.
System for Registration of Approved Asphalt Suppliers, Appendix L, Attachment 1, Asphalt Supplier
Performance Report Form (Form MAS208): This form sets out the assessment criteria to be addressed by
the Superintendent when preparing the report. Assessment criteria should include the following:
Expertise of staff including supervising staff, operators and the suppliers management;
Mix design;
Workmanship, preparation of surface or underlying lot, production lots and pavement lots;
Management of subcontractors.
This report is required to be submitted within 14 days of the issue of the Certificate of Practical Completion
(Form C6881).
For more information refer to MRTS30, Dense Grade and Open Graded Asphalt Pavements and the System
for Registration of Asphalt Suppliers.
3.6
The Road Safety Audit Report, which is arranged by the Project Manager, is to be completed within four
weeks of the anticipated Date for Practical Completion.
It is essential that this audit be conducted on the basis of the approved design and the original scope of work
in the approved business case. An audit which records a design safety issue must be referred back to the
Project Manager for further instruction. Any audit findings that impact upon the Works shall be considered
by the Superintendent.
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The issues raised in the Road Safety Audit Report will be prioritised by the auditor based on risk. The aim is
to close out the highest priority issues raised in the report. Sometimes this is not possible in the timeframe
given and outstanding actions (generally design matters) need to be documented and actioned for closure by
others. For example, an audit which records a design safety issue needs to be referred back to the Project
Manager and possibly the design engineers for action and later remediation.
The Superintendent needs to consider the recommendations carefully and either arrange for them to be
implemented or provides a report back stating why the finding of the audit are not in the scope of the works.
It is likely that some corrective works could be part of the original scope of works but not completed
satisfactorily. In this instance, the Superintendent needs to issue an instruction to the Contractor defining the
requirements. Examples are line of sight at intersections hindered by vegetation not yet cleared or guardrail
heights not to specification.
Where the audit findings are considered to be necessary for safety reasons not originally foreseen during the
design, then the matter needs to be resolved. An example is a finding that a school bus stop should be
provided on a newly widened road contract. The matter needs to be resolved by the Project Manager and
the Principal.
Even though not originally foreseen during design, there is nevertheless a professional indemnity matter at
stake in that the auditor, having become aware of an issue which is considered unsafe, is bound to record it.
The consequences really lie with the Principal funding the improvements whenever possible. The
Superintendents response is to acknowledge the report and refer their findings3 back to the Principal.
Where corrective works may have to be requested to be completed by the Contractor, care needs to be
taken to ensure it is possible to issue a Variation Order (CAF027M) in the remaining timeframe while the
Contractor still has a presence on site. The pricing of this Variation Order (CAF027M) is likely to be of an
order higher than if the Variation Order (CAF027M) was priced during the Contract period.
As the potential for the results of a Road Safety Audit Report to cause last minute havoc are reasonable, the
earliest start and completion of the report is recommended to minimise its impact.
OTHER REPORTS
The following two reports should be prepared by the Project Manager with input by the Superintendent and
are included here for information for the Superintendent:
4.1
Post-Construction Report
This is the first terminal report due after completing the construction. It needs to be completed and
forwarded before the issue of the Final Certificate (Form C6882). The post-construction report should be
prepared by the Project Manager with the assistance of the Superintendent and forwarded to the Principals
Representative. It allows the Principals Representative to get a complete understanding of all aspects of the
construction before the issue of the Final Certificate (Form C6882).
Report should include information on the following:
Details of the Contract, such as possession of site, date for and of completion, contract duration,
Extensions of Time for Practical Completion, projects costs should be given;
Construction aspects such as working platform, wearing course, pavement configuration and
screening sizes should be included;
Program and progress this should include the performance of the Contractor, design issues, public
relations and consultations, material resources, quality and financial performance; and
Areas requiring improvement the areas that should be discussed should include environment,
drainage, revegetation, provision for traffic, service issues, geotechnical and specifications.
This may include the potential for variations, remedial works, time and cost implications etc
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Performance reports;
As-Constructed drawings;
Financial data;
Post Construction Report should be prepared in accordance with the template Post-Construction Report
(CAF012M).
4.2
This report is to be prepared by the Project Manager with the assistance of the Superintendent and
forwarded to the Principals Representative. It will provide information for the Principals Representative to
assess the progress of the project and understand project issues. The report is required to be submitted on
quarterly intervals.
The report should include the following information:
1.
Project costs should include information on progress payments to date, approved variations, liquidated
damages, costs of Principal supplied material and works (by Project Manager) and departmental costs
by Project Manager;
2.
Project Status should include information such as Date of Letter of Acceptance, period for
construction, Date for Practical Completion, Extensions of Time for Practical Completion granted, Date
of Practical Completion, details of Liquidated Damages applied;
3.
4.
Project issues including claims, quality issues, design issues and weather information weather
information helps to deal with extension to time due to wet weather and any associated claims;
5.
Traffic matters including information on traffic incidents and actions taken to deal with them;
6.
Environmental matters including environmental incidents and actions taken to deal with them;
7.
Safety matters including Workplace Health and Safety incidents and actions taken to deal with them;
8.
9.
Any other issues such as internal communication, staffing issues and records of community and
stakeholder contact.
The following appendices (if relevant) should be included with the report:
Variation Register;
Principals Quarterly Report (CAF011M) template should be used for this report.
SURVEILLANCE REPORTING
5.1
Details of the surveillance reporting are contained in the monthly and final reports by the Superintendent.
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5.2
Procedure - CAP004M
Reports
While Contractor assessments are carried out as part of the departments requirements, it is also
recommended that the Project Manager undertake a review of the performance of the Superintendents
Surveillance Plan (CAF001M) and its implementation.
Success criteria listed in the template target the roles of the Superintendent in relation to development of a
surveillance plan and its effective implementation. (refer to Superintendents Surveillance Plan (CAF001M)
and Implementation of the Superintendents Surveillance Plan (CAP006M) Additional criteria may include:
REFERENCE DOCUMENTS
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